FCA fines UBS £27.6 million over reporting failures
- Tuesday, 19 March 2019
- Articles
UBS AG (UBS) has been fined £27,599,400 by the FCA for failings relating to transaction reporting.
Read more...Firm fined £1m for failings on suspicious transactions
- Thursday, 25 January 2018
- Articles
The FCA has today fined Interactive Brokers (UK) (IBUK) £1,049,412 for failing to identify suspicious transactions in its post-trade systems and controls from February 2014 to February 2015.
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